SEBI

Issue & Listing of Non-Convertible Debentures

Company Law - As per section 71 (Debentures) read with rule 18 of the Companies (Share Capital and Debentures) Rules 2014 provides the condition for issue of debentures. A debenture is a legal document that represents a secure means by which a creditor can lend money to the debtor. As per section 2 (30) of the Companies Act, […]...

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Detailed analysis of SEBI (Investment Advisers) (Amendment) Regulations, 2020

Company Law - To ease your burden, we have come up with a detailed analysis of the amendments to IA regulation by SEBI (Investment Advisers) (Amendment) Regulations, 2020, so that in spite of googling for the same, you may get all your answers at once. These amendments would be applicable from October 01, 2020. Following are the key […]...

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Delisting – An opportunity in the face of uncertainty

Company Law - The current global crisis and its resulting uncertainty have shaken the strongest of economies and organisations. However, these times also create a host of opportunities, the delisting of stocks being one of them. Need for delisting Given the sharp fall in capital markets, promoters are evaluating the delisting of securities to run their...

Read More

Key Highlights of SEBI (Investment Advisers) (Amendment) Regulations, 2020

Company Law - In January, SEBI floated a consultation paper on review of regulatory framework for investment advisers and sought comments from the public on the same. The consultation paper had created a buzz among RIA community as to how the new regulatory regime would turn out for them in an already challenging and competitive environment. The so [&h...

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Amendment in SEBI Investment Advisers Regulation 2013

Company Law - SEBI has made changes in existing Investment Adviser regulation via amendment dated July 03, 2020. SEBI (Investment Advisers) (Amendment) Regulations, 2020 Some key changes are highlighted as below: 1. Distributors shall not use the nomenclature “Independent Financial Adviser or IFA or Wealth Adviser or any other similar name” unless ...

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Annual Compliance Audit under SEBI (Investment Advisers) (Amendment) Regulations, 2020

Company Law - Annual Compliance Audit Under SEBI (Investment Advisers) (Amendment) Regulations, 2020 SEBI has come out with final version of amendment with respect to SEBI (Investment Advisers) Regulations, 2013 vide their press release PR No.37/2020 on 3rd July, 2020. As per the notification these amendments shall come into force on the ninetieth day ...

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Ease of Compliances by SEBI on Real Estate Investment Trust funds (REITs)

Company Law - It could be observed from all the actions taken by the Government that it is ensuring that while the country is struggling with the pandemic, the businesses go on smoothly. Previously, the regulator, SEBI had allowed postponement in the time-limit for the submissions required to be done by all the REITs and Invits. However, announcin...

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SEBI invites comment on Report on Measures for Strengthening Enforcement Mechanism

Company Law - Securities and Exchange Board of India Notice inviting comments on the recommendation made by High Level Committee under the Chairmanship of Justice A. R. Dave, Retired Judge, Supreme Court of India, on the Measures for Strengthening the Enforcement Mechanism of the Board and Incidental Issues. Dated the 16th June, 2020 1. The High Level...

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Relax Regulation for Depositories and Participants: ICSI

Company Law - ICSI Request for relaxation from compliance with the provisions of Regulation 76 of the SEBI (Depositories and Participants) Regulations, 2018...

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Facilitation measures undertaken by Regulatory Authorities- COVID-19- ICSI

Company Law - Developments arising due to the spread of the COVID-19 virus have warranted the need for temporary relaxations in compliance requirements and other facilitation measures. The measures undertaken by both, the Ministry of Corporate Affairs and the Securities and Exchange Board of India are placed hereinbelow:...

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Seize ₹ 3.83 Cr from Dynamatic CEO in Insider Trading case: SEBI

Dr. Udayant Malhoutra Vs SEBI (SAT Mumbai) - Dr. Udayant Malhoutra Vs SEBI (Securities Appellate Tribunal, Mumbai) 1. The present appeal has been filed against an ex-parte order dated June 15, 2020 passed by the Whole Time Member (‘WTM’ for short) of Securities and Exchange Board of India (‘SEBI’ for short) directing th...

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SC grants controlled discretion to Adjudicating Officer | Section 15J | SEBI Act

Adjudicating Officer Vs Bhavesh Pabari (Supreme Court India) - SC grants controlled discretion to Adjudicating Officer under Section 15J of The SEBI Act The Supreme Court of India ruled in Adjudicating Officer, SEBI v. Bhavesh Pabari (Bhavesh Pabari) granting back the discretionary power to Adjudicating Officer (AO) under supervision and scrutiny of the c...

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Proceedings cannot be quashed merely for delay in launching: SAT

Pooja Vinay Jain Vs SEBI (Securities Appellate Tribunal) - In the present case, the appellant neither put a plea of prejudice before the AO nor before us. It was simply stated that since the proceedings were launched by respondent SEBI after a period seven years, the same should be quashed on the ground of delay. The record would show that all the documents...

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Offer of RPS was considered as deemed public issue and abide by public issue norms of SEBI

In re Deemed Public Issue Norms (Securities and Exchange Broad of India) - In re Deemed Public Issue Norms (Securities and Exchange Broad of India) Conclusion:  Offer of RPS by the company and pursuant allotment were deemed public issue of securities under the first proviso to Section 67(3) of the Companies Act, therefore, all the noticees were jointly and severally with ...

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SC ask IBC and SEBI to join Process in ‘Ponzi scheme’ matter

Anant Kajare Vs. Eknath Aher & Anr.(Supreme Court) - Anant Kajare Vs. Eknath Aher & Anr. (Supreme Court) Battery of lawyers appeared in the high profile alleged ‘Ponzi scheme’ matter. This matter has been travelling to Supreme Court time and again. Previously, SEBI held that the scheme run by Citrus Check inn Limited and Royal Twinkle Star Clu...

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SEBI signs MoU with CBDT to share Data with each other

Press Release No. 38/2020 - (08/07/2020) - The MoU will facilitate the sharing of data and information between CBDT and SEBI on an automatic and regular basis. The MoU will ensure that both CBDT and SEBI have seamless linkage for data exchange. In addition to regular exchange of data, CBDT and SEBI will also exchange with each other, on requ...

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SEBI Relaxes Time Gap between Two Board/Audit Committee Meetings

Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/110 - (26/06/2020) - SEBI Relaxation of Time Gap Between Two Board / Audit Committee Meetings Till 31st July 2020 SEBI has vide Circular No. SEBI/HO/CFD/CMD1/CIR/P/2020/110 dated 26th June, 2020 has relaxed time gap between two board / Audit Committee meetings of listed entities owing to the CoVID-19 pandemic. Text of t...

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Pricing of preferential issues – Temporary relaxation due to COVID 19

PR No.36/2020 - (25/06/2020) - n case of frequently traded shares, the price of the equity shares to be allotted pursuant to the preferential issue shall be not less than higher of the following: a. the average of the weekly high and low of the volume weighted average price of the related equity shares quoted on the recognised...

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Relaxations for Listed Companies having stressed assets

PR No. 35/2020 - (23/06/2020) - SEBI has decided to relax the pricing methodology for preferential issues by listed companies having stressed assets and exempt allottees of preferential issues from open offer obligations in such cases, with immediate effect....

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SEBI (Substantial Acquisition of Shares and Takeovers) (Second Amendment) Regulations, 2020

Notification No. SEBI/LAD-NRO /GN/ 2020/19 - (22/06/2020) - These regulations may be called the Securities and Exchange Board of India (Substantial Acquisition of Shares and Takeovers) (Second Amendment) Regulations, 2020....

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Recent Posts in "SEBI"

Issue & Listing of Non-Convertible Debentures

As per section 71 (Debentures) read with rule 18 of the Companies (Share Capital and Debentures) Rules 2014 provides the condition for issue of debentures. A debenture is a legal document that represents a secure means by which a creditor can lend money to the debtor. As per section 2 (30) of the Companies Act, […]...

Read More
Posted Under: SEBI |

Detailed analysis of SEBI (Investment Advisers) (Amendment) Regulations, 2020

To ease your burden, we have come up with a detailed analysis of the amendments to IA regulation by SEBI (Investment Advisers) (Amendment) Regulations, 2020, so that in spite of googling for the same, you may get all your answers at once. These amendments would be applicable from October 01, 2020. Following are the key […]...

Read More
Posted Under: SEBI |

SEBI signs MoU with CBDT to share Data with each other

Press Release No. 38/2020 (08/07/2020)

The MoU will facilitate the sharing of data and information between CBDT and SEBI on an automatic and regular basis. The MoU will ensure that both CBDT and SEBI have seamless linkage for data exchange. In addition to regular exchange of data, CBDT and SEBI will also exchange with each other, on request and suo moto basis, any information ...

Read More

Annual Compliance Audit under SEBI (Investment Advisers) (Amendment) Regulations, 2020

Annual Compliance Audit Under SEBI (Investment Advisers) (Amendment) Regulations, 2020 SEBI has come out with final version of amendment with respect to SEBI (Investment Advisers) Regulations, 2013 vide their press release PR No.37/2020 on 3rd July, 2020. As per the notification these amendments shall come into force on the ninetieth day ...

Read More
Posted Under: SEBI |

Delisting – An opportunity in the face of uncertainty

The current global crisis and its resulting uncertainty have shaken the strongest of economies and organisations. However, these times also create a host of opportunities, the delisting of stocks being one of them. Need for delisting Given the sharp fall in capital markets, promoters are evaluating the delisting of securities to run their...

Read More
Posted Under: SEBI |

Key Highlights of SEBI (Investment Advisers) (Amendment) Regulations, 2020

In January, SEBI floated a consultation paper on review of regulatory framework for investment advisers and sought comments from the public on the same. The consultation paper had created a buzz among RIA community as to how the new regulatory regime would turn out for them in an already challenging and competitive environment. The so [&h...

Read More
Posted Under: SEBI |

Amendment in SEBI Investment Advisers Regulation 2013

SEBI has made changes in existing Investment Adviser regulation via amendment dated July 03, 2020. SEBI (Investment Advisers) (Amendment) Regulations, 2020 Some key changes are highlighted as below: 1. Distributors shall not use the nomenclature “Independent Financial Adviser or IFA or Wealth Adviser or any other similar name” unless ...

Read More
Posted Under: SEBI |

Dilemma of fee model for Investment Advisory Practice

There is long standing dilemma among the Investment Advisers fraternity as to which fee model should an investment Adviser adopt. It is quite obvious that advisers having different business models require different type of fee model. So ‘One Size Fits All’ approach cannot be adopted for all advisory business practice. Advisers are hav...

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Posted Under: SEBI |

FAQs on Compliance Audit by SEBI Registered Research Analysts

Frequently asked questions on Compliance Audit We have been receiving multiple questions related to Compliance audit requirement by SEBI Registered Research Analysts. Based on that we have attempted to capture some of the common questions. 1. What is Compliance Audit? Basically Compliance Audit is checking of the compliances followed by t...

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Posted Under: SEBI |

Ease of Compliances by SEBI on Real Estate Investment Trust funds (REITs)

It could be observed from all the actions taken by the Government that it is ensuring that while the country is struggling with the pandemic, the businesses go on smoothly. Previously, the regulator, SEBI had allowed postponement in the time-limit for the submissions required to be done by all the REITs and Invits. However, announcin...

Read More
Posted Under: SEBI |

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